Wendy Devorah Fox
Professional Summary
Wendy Devorah Fox, who also goes by Wendy D Fox, is a registered financial advisor currently at ARIEL DISTRIBUTORS, LLC located in Chicago, Illinois. Wendy is registered as a RR (Registered Representative) and started their career in finance in 2004. Wendy has worked at 1 firm and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 6, Series 26, Series 14 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Wendy D Fox
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
21 years in the financial services industry
Current & Past Employments
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Current Firm
ARIEL DISTRIBUTORS, INC. | ARIEL DISTRIBUTORS, LLC
Contact Information
Main Address
200 East Randolph Street Suite 2900, Chicago, IL 60601Mailing Address
200 East Randolph Street Suite 2900, Chicago, IL 60601Phone Number
(312) 726-0140Established
Delaware since 10/23/2006Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARIEL INVESTMENTS HOLDING COMPANY, LLC | SOLE UNITHOLDER | — |
| CALDERON, CARLOS ESTUARDO | SENIOR VICE PRESIDENT, FINANCE | 6864114 |
| CAMPBELL, ROBERT NMN | FINOP, PFO, POO | 1349154 |
| FOX, WENDY DEVORAH | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER AND ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 4870574 |
| ORLOWSKI, BONNIE ELIZABETH | PRESIDENT | 3121598 |
| RODRIGUEZ-AYALA, EMMA LEONOR | GENERAL COUNSEL AND SECRETARY | 6183654 |
| WEBER, ROOPA PATEL | SENIOR VICE PRESIDENT, CHIEF MARKETING OFFICER | 3026056 |
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 2004About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jan 2023About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Wendy Devorah Fox's CRS (Customer Relationship Summary).
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